Glossary
of Terms
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A
A-110
This Circular sets forth standards for obtaining consistency and uniformity
among Federal agencies in the administration of grants to and agreements
with institutions of higher education, hospitals, and other non-profit
organizations. The standards set forth in this circular are applicable
to all Federal agencies.
A-21 This Circular establishes principles for determining costs applicable
to grants, contracts, and other agreements with educational institutions
. The principles deal with the subject of cost determination. The circular
applies to all Federal agencies that sponsor research and development,
training, and other work at educational institutions shall apply the
provisions of this circular in determining the costs incurred for such
work. A-21 determines the terms of direct and indirect costs, allowable
and unallowable expenditures, and now sets the terms of Cost Accounting
Standards.
Agencies (also known as sponsors)
Institutions (usually a state or federal body) that sponsor a research
endeavor, providing funds and other support. There are very many of
these, and most of them are referred to using acronyms. The National
Council of University Research Administrators (NCURA) offers and explanation
of these acronyms, with links to the relevant agency sites: http://www.ncura.edu/agencies/default.html.
Louisiana State University also publishes a comprehensive directory
of Federal Government agencies at its site which can be found at http://www.lib.lsu.edu/gov/fedgov.html.
Allowable Costs
Determined by the Office of Management and Budget (OMB), the sponsor's
requirements and/or university policy. OMB Circular A-21 defines allowable
costs as those that are: 1.Reasonable 2.Allocable to the project 3.Given
consistent treatment by use of generally accepted accounting principles
4.Conform to any limitations or exclusions set forth by the sponsored
agreement or OMB Circular A-21. Contact the appropriate OSP representative
for advice on questions regarding the allowability of expenditures.
Amendment
See Modification
Assurances
See Certifications.
Award
Funds provided from an external sponsor for support of a project at
the University of Virginia. This term is used for both original award
and supplements; it can mean monies or equipment.
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B
Broad
Agency Announcement
An announcement that is general in nature and that identifies areas
of research interest, including criteria for selecting proposals, and
soliciting the participation of all offerers capable of satisfying the
government's needs.
Budget
An estimate of expenditures proposed to be incurred in the performance
of a proposed statement of work.
Budget Category
A portion of the budget designated for certain kinds of expenditures,
e.g., salaries, operations, travel, equipment.
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C
Certifications
Conflict
of Interest (Disclosure of Financial Interest) - For NSF and PHS a
certification requires an institutional representative to certify that
the institution has implemented and is enforcing a written policy on
conflicts of interest consistent with federal regulations, all financial
disclosures required by the conflict of interest policy were made;
and that conflicts of interests, if any, were, or prior to the institution's
expenditure of any funds under the award, will be satisfactorily managed,
reduced or eliminated in accordance with the institution's conflict
of interest policy and/or disclosed to the agency (as required by the
agency).
Debarment
and Suspension - A certification assuring the federal agency that the
research personnel and the institution are not presently declared ineligible
for receiving federal support, have not been convicted of fraud or
a criminal offense in the performance of a federal award, are not in
violation of federal or state statutes, are not presently indicted
for criminal or civil charges and have not within a three-year period
preceding the application had one or more federal, state or local transactions
terminated for cause or default.
Delinquent Federal Debt - A certification provided to the federal awarding
agency that the applicant organization is not delinquent on the repayment
of any federal debt.
Drug-Free Workplace - A certification assuring the federal agency that
the institution does and will continue to provide a drug-free workplace
as required by the Drug-Free Workplace Act of 1988.
Lobbying - A certification assuring the federal agency that no federal
appropriated funds or any other non-federal funds have been paid or
will be paid for influencing any federal official or employee in connection
with the awarding of any contract, grant or agreement.
Misconduct in Science - A certification that the institution has established
administrative policies dealing with and reporting possible misconduct
in science, and that it will comply with the policies and requirements
as published in the federal agency's regulations.
Classified
Research
Research sponsored by a federal government entity that involves restrictions
imposed by agreement or otherwise on the distribution or publication
of the research findings or results following completion, for a specified
period or for indefinite duration. All classified research requires
approval of the University (see Policies and Procedures).
Cognizant Audit Agency The office or staff that is designated to perform
audits on behalf of the federal government for sponsored projects at
a university. The relevant agency for the University of Virginia is
.
Conflict of Interest (Disclosure of Financial Interest) Certification
See Certifications. See also internal procedure.
Consortium
A consortium is two or more institutions working on the same research
project, either funded directly by the supporting agency or one prime
institution subcontracting out the funds to the other members of the
consortium.
Consultant
An individual whose expertise is required by the Principal Investigator
to perform the research. (A consultant may be a paid or unpaid contributor.)
Contract
A contract is an agreement to acquire services that primarily benefit
the sponsor. For an award to be considered a contract, it normally must
contain all of the following elements: 1. Detailed financial and legal
requirements must be included with a specific statement of work to be
performed. 2.A specific set of deliverables and/or reports to the sponsor
is required. 3.Separate accounting procedures are required. 4.Legally
binding contract clauses must be included. 5. Benefits of the project
accrue first to the sponsor, then to the university, then to the nation.
Contributed Effort
Effort expended on a sponsored project that the sponsor does not compensate
for; a form of cost sharing.
Cooperative Agreement
A funding mechanism which can be used by federal agencies when a program
requires more agency involvement and restrictions than a grant but requires
less agency supervision than a contract.
Co-Principal Investigator (Co-PI)
One investigator sharing equal responsibility for the direction of a
research program. (PHS/NIH does not recognize the concept of co-principal
investigator.)
Cost Reimbursement (CR)
A type of agreement whereby payments are based on actual allowable costs
incurred in performance of the work.
Cost Share
University and nonfederal sponsor resources provided in support of sponsored
programs; includes contributed effort and matching funds.
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D
Debarment
and Suspension Certification
See Certifications.
Delinquent Federal Debt Certification
See Certifications.
Direct Costs
Direct cost means any cost which is identified specifically with a particular
final cost objective. Direct costs are not limited to items which are
incorporated in the end product as material or labor. Costs identified
specifically with a sponsored agreement are direct costs of that sponsored
agreement. All costs identified specifically with other final cost objectives
of the educational institution are direct costs of those cost objectives.
Donated Property
Property provided by an outside party for specific activities related
to sponsored project and/or research activities of the university; title
to the property passes to the university at essentially no cost.
Drug-Free Workplace Certification
See Certifications.
DS-2
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E
Effort
The amount of time, usually expressed as a percentage of the total,
that a faculty member or other employee spends on a project. Effort
is certified and documented through the Effort Certification Reporting
system.
Effort
Reporting
Effort reporting and certification form required for compliance with
federal regulations.
Equipment
Generally, articles of non-expendable tangible personal property having
a useful life and an acquisition cost which meet or exceed the established
thresholds for defining equipment. Equipment is not a replacement part
or component returning a piece of equipment to its original condition.
If a component increases the capability of the original equipment and
has an acquisition cost that meets or exceeds the established equipment
cost thresholds, it is considered a capital item.
Expanded Authorities
Policy implemented by some federal granting agencies which delegates
certain prior approval authorities to grantee institutions. This delegation
allows for internal university approval of administrative and spending
actions, thus avoiding delays in project progress.
Extramural Support
Funding for research, training or public service programs provided by
federal or private sources outside the university.
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F
Facilities
and Administrative (FAC or F&A) Cost Rates
The rates used to recover the facilities and administrative costs of
a sponsored project. Negotiated, approved rates are to be used for all
agreements with the federal government and for most non-federal projects,
as allowable
Facilities and Administrative (FAC or F&A) Costs
Also referred to as indirect costs, overhead, overhead costs, or administrative
costs. Facilities and administrative costs are actual costs incurred
to conduct the normal business activities of an organization that cannot
be readily identified with or directly charged to a specific project
or activity. The normal activities of the university include instruction
and departmental research, organized research, public service, and other
institutional activities. F&A costs are real, auditable costs incurred
by the university each time it accepts an award for a sponsored project.
If the university does not collect full reimbursement for these costs,
other university resources must be used to subsidize them.
Federal Acquisition Regulations (FAR)
The Federal Acquisition Regulations System is established for the codification
and publication of uniform policies and procedures for acquisition by
all executive agencies. It consists of rules and regulations governing
business with Federal Government. These regulations govern all aspects
of federal procurement.
Firm Fixed-Price (FFP)
A type of agreement whereby payment is not based on actual costs expended
but upon a mutually agreed upon price.
Foreign Travel
Foreign travel includes travel outside of the United States and its
territories and possessions (Guam, American Samoa, Puerto Rico, the
Virgin Islands, and the Canal Zone) and Canada. A trip is considered
foreign travel for all legs of the itinerary if the traveler does not
return to his or her post prior to departure for a foreign destination.
Formal Proposal
Any proposal submitted by a university employee to an outside entity
that may directly lead to an award. All formal proposals require an
institutional endorsement by an official authorized to commit university
resources. NOTE: ONLY ELECTED MEMBERS OF THE FACULTY MAY SUBMIT GRANT
PROPOSALS. ELECTED MEMBERS OF THE FACULTY INCLUDE: Professors, Associate
and Assistant Professors, Instructors and Lecturers.
Full and Open Competition
The solicitation of bids from prospective suppliers which is used to
assure that all responsible bidders are permitted to compete for the
procurement.
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G
General
Purpose Equipment
Equipment that is not limited to research, scientific, or other technical
activities. Examples of general purpose equipment include office equipment
and furnishing, air conditioning equipment, reproduction and printing
equipment, motor vehicles, and automatic data processing equipment.
Gift A unilateral transfer of money, property, or other assets to the
recipient for the recipient's ownership and use by a donor who makes
no claims on the recipient in connection with the gift. Gifts normally
have the following characteristics: 1. The statement of work allows
the project director significant freedom to change emphases within the
general area of work as the project progresses. 2.No deliverables are
involved. 3.Separate accounting procedures are not required. 4.Benefits
of the project are to accrue to the nation and the world. 5.Sponsor
has no audit rights. 6.No regulatory issues are involved, such as human
subjects or animal care.
Governmental Donated Property
Property donated or transferred to the institution by a municipality,
county, state agency, or the federal government.
Government-Furnished Equipment (GFE)
Equipment provided to the university by the federal government or government
contractor; title may or may not remain with the government.
Grant
An agreement to transfer money, property, services, or anything of value
to accomplish a purpose, such as support or assistance in an area of
interest to the grantor. For an award to be considered a grant, it normally
will contain the following elements: 1. The statement of work allows
the project director significant freedom to change emphasis within the
general area of work as the project progresses. 2.Deliverables are minimal,
usually consisting of reports only. 3.Separate accounting procedures
are required.
Grantee
A grantee is the recipient of a grant. When the university accepts a
grant award, on be-half of an individual, it becomes the grantee.
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H
Human
Subjects
A living individual about whom an investigator conducting research obtains:
1.Data through intervention or interaction with the individual. 2.Identifiable
private information.
I
Identifiable
Information
Information from which the identity of the subject is or may be readily
ascertained or associated.
Indirect Costs
See Facilities and Administrative (FAC or F&A) Costs.
Informal Proposal
A short (generally 2-5 pages) description of the proposed project that
does not involve a commitment of university resources or a signature
on behalf of the university. An informal proposal may include a total
cost estimate but does not include a budget and is not expected to result
directly in an award. The purpose of an informal proposal is usually
to inform and interest the potential sponsor enough to request a more
detailed formal proposal. Also sometimes called a letter proposal, mini-proposal,
preliminary proposal, pre-application, or concept paper.
Informed Consent
The voluntary agreement obtained from a subject (or the subject's legally
authorized representative) to participate in research or related activity,
before participating in that activity. The consent must permit the individual
(or legally authorized representative) to exercise free power of choice
without undue inducement or any element or deceit, fraud, force, duress,
or other form of coercion or constraint.
In-Kind Contribution
A non-cash commitment (such as contributed effort, facilities use, or
supplies) to share the costs of a sponsored project.
In-State Travel
Travel within the borders of Virginia.
Institutional Authorized Officials
Individuals authorized by the Board of Regents to sign grants, contracts,
and agreements on behalf of The University of Virginia.
Institutional Review Board
A board or committee organized at the university to provide review at
the institutional level for ethical concerns in research, such as laboratory
animal care and the use of human subjects in research.
Intellectual Property (IP)
Intellectual property is a broad term that encompasses the various intangible
products of the intellect of inventors. These include patents, trademarks,
copyrights, trade secrets, know-how, and other proprietary concepts,
including an invention, scientific or technological development, and
even computer software and genetically engineered microorganisms.
Intergovernmental Agreement (IGA)
An agreement whereby two or more public agencies of the state may contract
with each other provided that such contracts are authorized by the governing
bodies of each agency and that the contracts are executed in accordance
with Virginia law.
Invitation to Bid
Written documents soliciting pricing and/or technical proposals to supply
goods or services as specified in the requesting document. Correct use
of Invitations to Bid constitutes full and open competition. See Request
for Proposal (RFP)
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K
Key Professional
Personnel
Key professional personnel (or key personnel) are all individuals who
participate in the scientific development or execution of the project.
Typically, key personnel have a Ph.D. Ed.D., or M.D., but may also include
the master's or baccalaureate level, provided they contribute in a substantive
way to the research.
L
Letter
of Inquiry
A letter of inquiry is initiated by an applicant to determine if a proposed
project is within a private agency's fundable program areas and to request
agency policy and program information, as well as instructions and forms.
Letter of Intent
A letter of intent advises a funding agency that an application will
be submitted in response to their solicitation. The letter may contain
general program information, unofficial cost estimates, and a request
for specific application guidelines, instructions and forms.
Limited Submission
When a program limits the number or dollar value of proposals that each
institution may submit.
Loaned Equipment
Property provided by an outside party for use by the institution for
sponsored project or research related activities; title to the property
does not pass to the university.
Lobbying Certification
See Certifications.
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M
Matching
Funds A cash commitment to share the costs of a sponsored project. See
also Cost Share.
Misconduct in Science Certification
See Certifications.
Modification
Any change made to an existing sponsored agreement.
Modified Total Direct Costs (MTDC)
The portion of direct costs on which the indirect costs are based, namely:
salaries and wages, fringe benefits, materials and supplies, services,
travel, and up to $25,000 on each subgrant and subcontract.
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N
No-Cost
Extension (NCE)
Provides for an additional period of performance to accomplish project
goals. May be handled internally in certain circumstances or sought
externally from the sponsor.
O
Office
of Management and Budget (Federal)
OMB, working cooperatively with Federal agencies and non-Federal parties,
establishes governmentwide grants management policies and guidelines
throughcirculars and common rules. These policies are adopted by each
grantmaking agency and inserted into their Federal regulations. Their
website is available here: http://www.whitehouse.gov/OMB/grants/index.html
Office of Research Services
The Research Services division of the Office of Sponsored Programs provides
oversight to ensure that the University meets the terms of awards and
all legal and regulatory requirements.
Office of the Vice President and Provost for Research and Public Service
(VPR)
The Office of the Vice President and Provost for Research and Public
Service (VPR) is responsible for the research programs and other sponsored
activities of the university. This office provides leadership in the
development of policies and procedures that will enhance the research
mission while protecting programs and interests of the university.
Overhead
See Facilities and Administrative (FAC or F&A) Costs.
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P
Peer
Review
A process utilized by some federal and private agencies, whereby committees
of research investigators in the same area of research or with the necessary
expertise (from other institutions) review and recommend applications
to the funding agency.
Principal Investigator (PI)
Typically, a faculty member who submitted a proposal that was accepted
and funded by an external sponsor, also referred to as the project director.
The PI has primary responsibility for technical compliance, completion
of programmatic work, and fiscal stewardship of sponsor funds.
Program Income
Program income is gross income earned by a research grant recipient
from the activities, part or all of which are borne as a direct cost
by the grant. Examples are fees for services performed under the grant,
rental or usage fees charged for use of equipment purchased with grant
funds, third party patient reimbursements for hospital or medical services
paid from the grant, funds generated by the sale of commodities, such
as cell lines or research animals developed from or paid for from the
grant, and patent or copyright royalties.
Project Director
See Principal Investigator.
Proprietary Research
Research sponsored by non-governmental entity or individual that involves
restrictions on the distribution or publication of the research findings
or results following completion, for a specified period or for indefinite
duration.
Rebudgeting Process by which funds available for spending are reallocated
between budget categories to allow best use of funds to accomplish project
goals.
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R
Research
Accounting
The Research Accounting section of the Office of Sponsored Programs
(OSP) provides oversight and interpretation of agency and other federal
regulations for determining if adequate systems are in place for proper
charging, documentation, reporting and reimbursement of expenditures
to sponsored accounts.
Research and Related Activities
All formal investigative efforts (whether funded or unfunded) by faculty,
students, and staff that are designed to develop or contribute to generalized
knowledge, including analyses of secondary data.
Request for Applications (RFA)
Any resulting awards would normally be funded by a grant. The RFA instructions
include the information necessary to complete the application and mailing
instructions.
Request for Proposals (RFP)
An RFP contains the detailed information that must be supplied in the
proposal. The proposal procedure is often complex and must satisfy very
specific requirements. Any resulting award(s) would normally be funded
by a contract. See Invitation to Bid.
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S
Single
Source Acquisition
Issuing an award to a subcontractor without full and open competition.
This may be done if an award is the result of a collaboration (where
the ideas, concepts, and methodology were developed by the two parties
jointly). There are restrictions on the use of this means of procurement
and documentation must show justification for using single source acquisition.
Site Visit
An agency-initiated review of a proposed project conducted at the applicant's
institution.
Sole Source Acquisition
A procurement that does not provide full and open competition, but is
effected because only one source is available.
Special Purpose Equipment
Equipment which can be used only for research, scientific, or other
technical activities.
Sponsor
An external funding source which enters into an agreement with the university
to support research, instruction, public service or other sponsored
activities. Sponsors include private businesses, corporations, foundations
and other not-for-profit organizations, other universities, and federal,
state and local governments.
Subcontract
A contract issued under a prime contract, agreement, purchase order,
or grant for the procurement of services or program-related tasks over
$10,000. Purchase orders for the procurement of goods and supplies do
not qualify as subcontracts under policy RSP 112, Subcontracts, and
fall under the purview of the Purchasing Department. Issuance of subcontracts
under federal prime award are subject to compliance with federal law
and all subcontracts are subject to the terms and conditions of the
prime award and the normal purchasing requirements of the State of Virginia.
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U
University
Prior Approval System (UPAS) The system is in place to allow university
approval of administrative, budgeting and spending actions as delegated
by certain federal sponsors; a UPAS form documents the facts pertinent
to a request for changes, including the institutional prior approvals.
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